Full guide to Consultancy Policy May 2006 Page 1 - University of ...

Full guide to Consultancy Policy May 2006 Page 1

CONSULTANCY POLICY 

AT THE 

UNIVERSITY OF SOUTHAMPTON 

PRC Approved version – Mar06 

Version 1.3 

Issued on behalf of the Enterprise and Innovation Policy Committee 


CONTENTS 

section 

FOREWORD BY THE VICE CHANCELLOR 3 

EXECUTIVE SUMMARY 4 

1.0 INTRODUCTION 6 

1.1 Document layout and conventions 

1.2 Principles 

2.0 OVERALL POLICY 8 

2.1 Types of consulting channels 

2.2 Consulting Channel – which is appropriate? 

2.3 Eligibility to consult – background 

2.4 Eligibility to consult – job categories 

2.5 Consent from Head of School 

2.6 Reward and remuneration 

2.7 Related policies and evolution 

2.8 One-page Consultancy Policy Summary (tables) 11 

3.0 PRIVATE CONSULTING POLICY 12 

3.1 Introduction and outline 

3.2 Consent and eligibility 

3.3 Commercial 

3.4 Additional notes of guidance 

4.0 SCHOOL-BASED CONSULTING POLICY 15 




4.4 Financial and remuneration 

5.0 UNIT-BASED CONSULTING POLICY 16 




5.4 Financial and Remuneration 

6.0 SERVICE COMPANY-BASED CONSULTING POLICY 17 


6.2 Eligibility and consent 


6.4 Financial and remuneration 

APPENDICIES 

APPENDIX I – HEAD OF SCHOOL/DIRECTOR OF PROFESSIONAL SERVICES 

CONSENT 

APPENDIX II – DISCALIMER FOR PRIVATE CONSULTING 22 

APPENDIX III – CONSULTING CHANNEL OPTIONS (SCHEMATIC) 23 

APPENDIX IV – INTERIM DEVELOPMENT NOTES 24 

page 

19 


FOREWORD BY THE VICE CHANCELLOR 

Enterprise at the University of Southampton: 

Consultancy fits within our enterprise agenda which has developed to a point where the University of Southampton is 

seen as being in the vanguard in many areas of enterprise activity. 

Why should we engage with the enterprise agenda? 

The answer is not simply financial but relates to our aspirations as an institution. In that sense enterprise is not in 

conflict with our activities in research and education but is supportive of those activities. The degree of enthusiasm for 

enterprise will be dependent on discipline, stage in career, personal goals etc. Nevertheless, here are the ten reasons 

why collectively and as an institution we would wish to engage with the enterprise agenda. 

A major , distinctive and well-resourced University. 

• Support aspiration to be a world-leading University (thought leadership and cross 

disciplinary programmes are characteristics of such Universities e.g., Stanford, MIT). 

• Differentiate University in a crowded higher education marketplace by becoming a 

recognised regional/national leader of the Enterprise Agenda, thus enhancing its visibility 

and reputation 

• Income generation for staff, Schools and University. 

• Build closer links with the commercial world, notably industry (leading to greater 

opportunities for contract research, consultancy and sponsorship). 

High quality staff and students in an environment o f opportunity. 

• Support staff recruitment (attraction of entrepreneurial culture & potential to engage in enterprise 

activity). 

• Support staff retention (increase rewards to staff & strengthen links between entrepreneurial staff and 

locality). 

• Support student recruitment (attraction of entrepreneurial culture & ability to gain entrepreneurial 

skills and increase employability). 

• Provision of additional facilities and opportunities for staff and students through both spin-out and 

spin-in activities. 

Making a national contribution. 

• Strengthen links between the University and the wider economy (lead the enterprise agenda in SE 

region). 

• Economic benefits to the nation (knowledge economy) that align with Government agenda for higher 

education. 

Consulting supports many of the above aims. The University seeks to encourage high value/high quality consulting 

activities as an important contribution to the enterprise agenda. 


EXECUTIVE SUMMARY 

Source of reference 

Consultancy forms an important part of the Enterprise agenda and this policy provides a single source of reference. 

This summary provides an outline. Please refer to the core policy for concise policy description. 

Consulting Channels 

The policy sets out the four channels through which consulting may be conducted namely: 

• Private consulting – where a member of staff consults on their own without the involvement of the University 

and where revenue flows directly to the academic. 

… and three University-based channels: 

• School-based consulting/services rendered – where a member of staff consults in co-operation with the 

School. 

• Unit-based consulting – where there is an existing Industrial or Consulting Unit through which the consultancy 

activity is managed. 

• Service company-based consulting – which is new and intended to help promote new and untapped areas of 

expertise. This is an approach delivered through the University of Southampton Consulting Ltd (UoSC). This 

is a wholly owned subsidiary of UoS Holdings Ltd. 

The value of established consulting through both private and university-based channels is recognised as a valuable 

contribution to the standing of the University. 

Balance 

This policy seeks to strike a practical balance between prescriptive policy and guidance, and the freedom of Heads of 

School to exercise judgement on what is appropriate for their particular school circumstances. 

The scope of consulting 

Consulting is defined as part of knowledge transfer, and arises where knowledge and expertise can be deployed 

successfully for financial and other forms of benefit. This may include a range of consulting activities such as the 

delivery of non-award bearing CPD. Consulting does not include: 

• The creation of knowledge (i.e. research) – activities operated under the heading of consultancy cannot 

normally qualify for RAE 

• The dissemination of primary knowledge (i.e. education) – core teaching or teaching related activities in 

relation to any award bearing programme. 

Consent 

All consulting activity through all channels must be reviewed and receive prior consent from the appropriate Head of 

School or Director of Professional Services to observe policy requirements on aspects such as: 

• Eligibility (this varies according to staff category) 

• Consulting channel (different commercial rules apply) 

• Risk (to safeguard University and staff interests) 

This policy draws a distinction between those members of staff who: 

• May consult directly and contract with a client to do consultancy work through eligible channels and, 

• Those who may assist in consultancy activities but may not agree contracts with clients. 


Eligibility 

The policy governing the eligibility to consult has been revised and extended. In summary for Staff in the Education, 

Research and Enterprise (ERE) job family: 

• Academic staff may engage in consultancy under the so-called 30-day rule through any of the four valid 

channels 

• Research and teaching staff may also consult under the so-called 30-day rule subject to some additional 

criteria, and 

• Enterprise staff (including those employed in industrial or advisory units) may of course engage in consulting 

if they have been employed in consulting roles, this is part of their normal duties. Normally they may only do 

so through the Unit-based consulting channel of the unit to which they belong. 

Outside the ERE family, staff at level 4 or above may, with advance permission use up to 15 days of their paid annual 

leave for external private consultancy. Staff at or below level 3 may assist. 

Related Policies and Evolution 

This policy co-exists with other relevant policies including those covering conflict of interest and full economic costing 

to which you are referred. 

Against a background of changing priorities, opportunities and risks, the University will keep this policy under review 

via the Enterprise and Innovation Policy Committee in order to maintain and promote: 

• The best interest of staff and the University, 

• Appropriate management of risks and, 

• Clear and appropriate governance and eligibility rules. 


1.0 INTRODUCTION 

1.1 Document Layout and Conventions 

Layout 

This main column describes the core policy. The column to the right provides 

additional notes of guidance or clarification where appropriate. 

A number of conventions and abbreviations have been adopted to try to make the 

document easier to assimilate and avoid complex and repetitive text. The use of these 

conventions, in italics (e.g. Consultant), forms part of the core policy. 

Consent and approval [HoS/DoPS] 

Approval to consult in all cases is subject to the consent and guidance of: 

Notes of clarification and 

guidance 

• The Head of School – for staff employed with a school, including professional 

service categories 

• The Director of Professional Service – for Professional Services staff employed 

within (central) professional services function. 

Heads of School and above must seek consent from their Dean or the Vice-Chancellor 

and Director of Professional Services from the Secretary and Registrar. 

By convention the abbreviation HoS/DoPS will be used to describe the above. 

Staff categories eligibility to consult [Consultant] 

The full policy describing which staff categories may consult are set out in sections 2.4 

and 2.5. The (abbreviated) term Consultant will be used to mean any eligible staff 

member who seeks to, or is engaged in consulting activity. 

The 30-day rule [30-day rule/15 day rule] 

Policy permits some staff categories to consult up to a maximum 30 days in total across 

all permitted channel types. A similar rule applies to other staff members for whom the 

maximum is 15 days for permitted channels. This rule will be abbreviated to the 30- 

day rule or the 15 day rule respectively. 

Full Economic Cost [FEC] 

Full economic costing is being introduced throughout the University under the guidance 

of the University’s Director of Finance. The deployment of Consultancy Policy will be 

governed under the rules of full economic costing. This rule will be abbreviated to the 

under FEC. No dispensation or variation to full economic costing is allowed for in this 

policy document. 

1.2 Principles 

A single source of guidance 

There is already a considerable body of consulting activity around the University and 

this will be recognised as we consider how to proceed. This document will be agreed 

by the appropriate policy committees and will be the prime source for policy. 

Balance 

This policy seeks to strike a practical balance between prescriptive policy and guidance, 

and the freedom of Heads of School to exercise judgement on what is appropriate for 

their particular school circumstances. 

What is consulting? … and what is not? 

Consulting is defined as part of knowledge transfer, and arises where knowledge and 

expertise can be deployed successfully for financial and other forms of benefit. This 

may include a range of consulting activities including the delivery of non-award bearing 

CPD. 

Generally the 30-day rule 

applies to certain ERE 

categories of staff whereas the 

15-day rule applies to certain 

professional service categories 

of staff. 

Not all staff are permitted to 

consul t via all channels. 

Any variations sought or 

approved mus t be deal t with 

though the finance function or 

under finance policy. 

The time is right to summarise 

all existing policy and guidelines 

and explain changes to support 

the way forward. 


Consulting does not include: 

• The creation of knowledge (i.e. research) – activities operated under the 

heading of consultancy cannot normally qualify for RAE 

• The dissemination of primary knowledge (i.e. education) – core teaching or 

teaching related activities in relation to any award bearing programme. 

Consulting channels – defining between whom is work contracted 

Clarity on this is important for consequences related to commercial, legal and risk 

management. 

This policy adopts channel headings to differentiate between who consults with whom 

to clarify relationships and consequences. Each embodies variations on the overall 

policy. The four channel headings are: 

• Private-based consulting (existing) 

• School-based consulting (existing) 

• Unit-based consulting (existing) 

• Service company-based consulting (new) 

These are described in more detail in sections following. 

Eligibility and who may consult 

Under previous policy, and subject to appropriate head of school consent, consulting 

was permitted for academic members of staff. Under this new policy, and subject to 

certain conditions, eligibility has been extended to additional categories of staff who 

may consult via university-based channels, namely: 

• Research and education staff in the ERE job at level 4 and above under the 

30-day rule 

• Non-ERE staff at level 4 and above taken from annual leave 15-day rule 

Why consult? 

To engage in consulting is clearly optional. Successful and beneficial consulting will 

contribute to the achievement of the University’s strategic plan. Specific benefits may 

support and enhance thought leadership, provide contact with the commercial world 

and provide revenue for university and staff to name but a few. 

Through the pursuit of so called “social enterprise”, consultancy may be deployed for 

social or environmental benefits and may also provide rewarding opportunities. 

The remaining sections describe the overall policy followed by more detailed and 

channel-specific sections thereafter. 

The total number of staff who 

may now consult is significantly 

increased . Full details are 

described in sections 2.3 and 

2.4 following. 

Many of the general comments 

in the foreword concerning 

enterprise as a whole also apply 

to consulting. 


2.0 OVERALL POLICY 

2.1 Types of consulting channels 

This defines between whom the contract of work is to be done. 

There are three existing and one new channel through which consulting may be 

conducted. In outline, the channels are: 

Private consulting – where a member of staff consults on their own without the 

involvement of the University and where revenue flows directly to the academic. 

School-based consulting/services rendered – where a member of staff consults in cooperation 

with the School. 

Unit-based consulting – where there is an existing Industrial or Consulting Unit through 

which the consultancy activity is managed. 

Service company-based consulting – which is new and intended to help promote new 

and untapped areas of expertise. This is an approach delivered through the University 

of Southampton Consulting Ltd (UoSC). This is a wholly owned subsidiary of UoS 

Holdings Ltd. 

2.2 Consulting Channel – which is appropriate? 

Which channel to work through is a matter of choice for the prospective consultant, 

subject to eligibility rules and the consent of the HoS/DoPS. 

2.3 Eligibility to consult - background 

Under current employment arrangements, all staff at level 4 and above have no fixed 

hours and work the hours to do the job. 

Staff at level 3 and below have fixed hours and may have other employment outside 

their fixed hours subject to not exceeding 48 hours per week across all employments in 

line with EU directives. 

The eligibility to consult in all cases is subject to the consent and guidance of the 

HoS/DoPS. 

This policy draws a distinction between those members of staff who: 

• May consult directly and contract with a client to do consultancy work 

through eligible channels and, 

Here professional liability rests 

firmly with the individual staff 

member who must ensure 

clients understand that the 

academic is not acting on 

behalf of the University. 

The school may provide some 

form of assistance (e.g. 

administration, facilities) and 

typically revenue flows to the 

School pr 

ior to any onward 

allocation. 

Often this involves the 

employment o f non-academic 

staff as full time salaried 

consult 

ants who form the core 

of the unit. Additionally, other 

staff sometime become 

involved under appropriate 

conditions. 

It’s intended to provide 

commercial support and 

benefits to its users, 

particularly including those 

who have no current means of 

administrative or commercial 

support and guidance. 

This means they (level 4 and 

above) may not take on any 

other form o f employment 

without consent. However, 

consent may be given under 

the terms within this 

consult 

ancy policy. In 

addition, consent may be given 

to obtain other employment 

but is likely to require staff to 

become part time on a 

fractional contract. 

• Those who may assist in consultancy activities but not agree contracts 

with clients. 

The term “consult directly” refers to those members of staff who may agree a 

contract of consultancy work with a client. This could be through either a 

Private or University-based channel. The term “assist” is used here to describe 

those members of staff who may not make such contractual agreements, but 

may, subject to the conditions within this policy assist in consultancy and for 

which they may under certain conditions receive some form or reward or 

remuneration. (See policy summary table in section 2.8) 


2.4 Eligibility to consult – job categories 

Staff in the Education, Research and Enterprise (ERE) job family: 

Academic staff may engage in consultancy under the 30-day rule through any of the 

four valid channels (Private, School-based, Unit-based and or Service company-based) 

Research and teaching staff may also consult under the 30-day rule subject to the 

following criteria, namely: 

• the consent of the Head of School had been given; 

• they are engaged through a University-based channel (i.e. School-based, Unitbased 

or Service company-based) and 

• the work does not remove core funding which otherwise would be received by 

the School or its trading unit; and 

• the work is marginal rather than core to the research programme of the 

School; and 

• any funding body financing the post of the person wishing to consult does not 

object to their doing so. 

Enterprise staff (including those employed in industrial or advisory units) may of course 

engage in University-based consulting if they have been employed in consulting roles, 

this is part of their normal duties. Normally they may only do so through the Unitbased 

consulting channel of the unit to which they belong. Private consulting is not 

permitted 

Staff outside the ERE family 

Staff at level 4 or above may, with advance permission use up to 15 days of their paid 

annual leave for external private consultancy. 

Also, for staff in this category, external paid work which individuals might engage in 

outside of normal hours which has no relationship to or relevance for the University can 

be conducted privately with consent in advance, which after application would be, 

provided by the Secretary and Registrar. 

Staff at level 3 or below can assist on a consulting assignment. They may do so 

provided the work is through one of the University-based consulting channels (School, 

Unit or Service company-based). Providing assistance on private-based consulting is 

not permitted during their normal working hours at the university. 

2.5 Consent from Head of School or Director Professional Services 

All consulting activity through all channels must be reviewed and receive prior consent 

from HoS/DoPS before commitments to clients can be made. The purpose of this 

review is to ensure that: 

• that the proposed work will not undermine other university priorities or 

obligations (e.g. research, teaching commitments) 

• the use of School facilities and resources (if any) have been declared and 

approved, including financial requirements on the recovery of costs 

• any risks (e.g. IP leakage, conflicts of interest, high risk activities or 

business sectors, etc) are given due consideration 

• the beneficiaries of the anticipated revenue has been declared and 

approved 

• the channel through which consulting is to be conducted is appropriate 

The HoS/DoPS will be free to decide on the appropriate and practical way to manage 

the review process. 

For research and teaching staff in the Education, Research and Enterprise (ERE) job 

family, further conditions must be satisfied as described in section 2.4 above. 

The staff category benefit from 

changes in forme r consultancy 

rules which have now been 

extended to research and 

teaching staff. 

If there is any conflict with a 

research sponsor’s policy, then 

the core funding of the 

research grant or contract will 

over-ride the ability to 

undertake consultancy. This 

may not just be exclusively of 

employment, but also noncompetition 

clauses. 

Collaborative work with other 

Units or Schools may be 

permitted o r desirable under 

the guidance and approval of 

the Heads of School/Unit. 

Compared to previous policy, 

this is new. 

Given that annual leave for 

staff at Level 4 and above is 30 

days leave plus 8 Bank 

Holidays plus six customary 

University closure days (a total 

o f 42) and the working time 

regulations require staff to 

have four weeks paid holidays 

(20 days) this can still be 

accommodated with up to 15 

days leave spent consulting. 

A checklist summarising these 

and other relevant points is 

contained in the appendix and 

may be of assistance to Heads 

of School when conducting the 

review. 

Where appropriate the 

HoS/DoPSC 1 may decide to 

delegate this review and 

consent provided controls are 

diligently exercised. Further 

suggested guidance on this is 

offered in the appendix. 

In Schools/Units where 

consulting activities forms an 

essential part of the financial 

model , it is unlikely that Heads 

of Schools will consent to 

consulting through other 

channels in order to safeguard 

School o r Unit revenues. 


2.6 Reward and remuneration 

Private Consulting – this is a matter for the individual and not the University. 

University-based consulting in general (School, Unit, Service company-based) – 

This is dealt with in more detail under the separate channel headings later in the 

document. However, these forms of consulting can only be conducted by University 

staff and therefore any remuneration must remain inside the prevailing University 

policy on staff rewards and remuneration. 

School-based consulting – revenue is typically paid into central Finance at the 

University, where it is then forwarded to the appropriate account or balance. 

The appropriate treatment of revenues and costs is specified in Finance policy to which 

the reader is referred. 

The decision to make a reward over and above normal salary lies with the Head of 

School. He/she can consent to a portion of the consultancy revenue being used to 

remunerate the member of staff in recognition of the work’s value to the school. The 

Head of School may also consent to other staff that have assisted in the work receiving 

remuneration or an award in line with University policy. 

Unit-based consulting – revenue is typically paid to the units operating balance. Full 

time consultants employed by the unit may be eligible for Unit-based annual 

achievement scheme subject to the unit achieving required financial performance 

parameters. 

Service company-based consulting – the gross revenue will be paid into the UoSC 

Ltd bank account. Once agreed costs have been deducted the proceeds will flow to the 

prior agreed beneficiaries. 

2.7 Related Policies and Evolution 

This policy co-exists with other relevant policies including those covering conflict of 

interest and full economic costing to which the reader is referred. 

Against a background of changing priorities, opportunities and risks, the University will 

keep this policy under review via the Enterprise and Innovation Policy Committee in 

order to maintain and promote: 

• The best interest of staff and the University, 

• Appropriate management of risks and, 

• Clear and appropriate governance and eligibility rules. 

The proceeds are likely to be 

paid to the consultan t’s own 

account (or trading company 

account) and he/she is 

responsible for any subsequent 

tax and national insurance 

obligations. 

Where assistance has been 

provided as part o f normal 

duties and within normal 

working hours then reward or 

remuneration over and above 

normal salary is unlikely to be 

appropriate. However, it may 

well be appropriate where the 

work has incurred some 

additional o r exceptional effort 

or time. 


2.8 Consultancy Policy Summary 

Policy summary Private Schoolbased 

Consent, channels and eligibility: 

Prior consent is required to all proposed consulting activities? Yes 

Commercial: 

ERE family - academic staff Yes 

Unit-based 

ERE family - research and teaching staff No Yes 

Service Cobased 

ERE Family - enterprise staff No No 1 Yes No 

Non-ERE family - staff at level 4 or above No Yes 

Non-ERE family - staff at level 3 or below No (No) … but can assist 

The contract is between the client and the ... 

The contractual arrangements (construct, compliance, etc) is 

managed by ... 

University facilities and resources may be used, and charged in line 

with FEC 

Business may be conducted from University premises including use 

of University postal or email address 

The university logo may be used (e.g. on letterheads, 

presentations, reports etc) 

Individual 

consultant 

Individual 

consultant 

No 

No 

No 

University 

(School) 


(Unit) 

UoSC Ltd 

School Unit UoSC Ltd 

Consulting activity is covered by university insurance No 2 Yes 

Financial and Remuneration 

Net proceeds flow to ... 

(NB see individual channel sections for details) 

Taxation/national insurance matters are catered for by ... 

Individual 

consultant 

Individual 

consultant 

Yes 

Yes 

Yes 

School 3 Unit 4 Defined 

beneficiaries 5 


Eligibility 

to 

consult 

level 4 or 

above 

Inside the Education, Research and Enterprise (ERE) 

job family 

1. Academic 

staff 

30-days 

(any channel) 

2. Research 

and teaching 

staff 

30-days 

(any Uni’ 

channel) 

3. Enterprise staff 

(inc staff employed in 

industrial or advisory 

units) 

(Unit-based consulting 

only) 

level 3 or 

below Not normally applicable (see note 6 ) 

Staff categories and rewards 

Academic staff in the Education, Research and 

Enterprise (ERE) job family, 

Research and teaching staff in the Education, 

Research and Enterprise (ERE) job family 

Staff at level 4 or above outside the ERE family 

Enterprise staff in the ERE job family (including those 

employed in industrial or advisory units.) 

Staff at level 3 or below outside the ERE family 

Options 

Payment into monthly salary 

Paid into pension pot 

Staff achievement scheme 7 


Unit staff achievement 

scheme (annually) 

Overtime 


Outside the ERE 

job family 

4. Staff at level 4 

or above 

15 days of 

annual leave 

(any University 

channel) 

5. Staff at level 3 

or below 

“can assist” 

(any University 

channel) 

√ 

√ 

√ 

√ 

√ 

√ 

√ 

Notes 

1 Involvement in School 

collaborations may be untypical, but 

can occur subject to School or Unit 

head guidance/consent. 

2 Risk and personal professional 

indemnity cover is a matter for the 

individual academic consultant 

3 The planned distribution of net 

proceeds from a consulting 

assignment must be declared and 

agreed as part of the prior review 

with the Head of School. Typically it 

may flow to the “services rendered 

account”. Payment may also be 

made to contributing individuals. 

4 The revenue would normally flow 

to the operating balance of the Unit. 

5 The planned distribution of net 

proceeds from a consulting 

assignment must be declared and 

agreed as part of the prior review 

with the Head of School 

6 This job family/job level 

combination is not normally in use. 

Please see local HR representative 

for any queries/clarification. 

7 Subject to the guidelines within the 

scheme 


3.0 PRIVATE CONSULTING POLICY 


There’s wide range of consulting assignments undertaken by academic staff and the 

University wishes to: 

• Recognise private consulting as a valid contributor to the enterprise agenda, 

and 

• Provide a “light-touch” to essential administrative practice and the 

management of risk. 

Private consulting will continue to be an option through which academic staff may 

consult. 


Academic staff in the Education, Research and Enterprise (ERE) job family can engage 

in private consultancy with the prior consent of the Head of School under the 30 day 

rule. 

All other staff are not permitted to engage in private consulting and specifically: 

The university will also provide 

a university-based alternative 

for those who wish to operate 

under the university umbrella 

with appropriate commercial 

support and safeguards (see 

Service company-based 

consulting). 

• Non academic staff categories at level 4 and above may not be engaged to 

assist 

• Non academic staff at level 3 and below may not be engaged to assist in 

university time 

Any breaches of any of the above requirements could lead to disciplinary procedures 

being invoked against the individual. 

Staff who consult will be required to complete a retrospective “register of interest” 

annually outlining their private consulting activities under the university Conflict of 

Interest Policy 

It is important to note that once given, permission is not necessarily on-going and may 

be withdrawn if circumstances are judged to warrant this action. In such a case 

reasonable notice of an intention to withdraw permission will be given and any dispute 

about granting or revoking permission will be referred to the Vice Chancellor or dealt 

with under the grievance procedures. In addition if outside consultancies or other paid 

work are accepted without the consent of the Head of School then the member of staff 

will be in breach of contract and subject to disciplinary procedures. 

Members of staff wishing to form their own companies or to become Directors of 

existing companies are subject to the same requirements for permission and time off. 


In Private Consulting the contract is between the client and the individual academic 

consultant and how such agreements are made (e.g. specification of the contract) are 

a matter for them. 

In Private Consulting the following conditions apply to the academic, subject to 

additional guidance set out on section 3.4: 

• Business may not be conducted from or using the University premises, postal 

or email address. 

• The University logo may not be used on letterheads, presentations, reports, 

etc 

• The academic must demonstrably ensure that clients are clearly informed that 

consulting arrangements are private and the university is not involved nor 

liable (see section 3.4). 

• University facilities and resources may not be used (see section 3.4). 

The client pays the consultant directly and all revenue matters (e.g. tax) are solely a 

matter for the consultant and not the university. 

Where support staff up to and 

including level 3, identify 

external consultancy 

opportunities, given they cannot 

consul t privately (the 30 day 

rules applies for academics 

staff), the work may be offered 

to the school to take up and 

support staff can benefit where 

appropriate though overtime or 

payments though the staff 

achievement scheme. This, in 

effect converts the proposition 

to a School-based channel. 

In the past, it is understood that 

some academics may have 

made local arrangements and 

paid Schools to utilise their 

resources and/or facilities. This 

leaves the university in a 

position of potential risk. In 

future this will not be permitted 

and academics who need to 

utilise University resources, 

facilities or staff must adopt one 

of the university based channels 

(School, Unit or Servicecompany 

based). 


3.4 Additional notes of guidance: 

Disclaimer 

Previous policy stated that the Heads of School are required to issue, as appropriate, a 

letter to the outside firm or organisation concerned with the consultative work, making 

it clear that the University has no responsibility or involvement in the advice given or 

actions taken by the individuals concerned. 

Effective with the introduction of this new policy the responsibility is henceforth placed 

upon the academic consultant to demonstrably ensure that the client is made aware of 

this condition. 

Insurance 

Private Consulting activity is not covered by university insurance. Risk and personal 

professional indemnity cover is a matter for the individual academic consultant. 

Neither the University nor its insurers will accept responsibility for the actions of staff 

when acting in a private consultancy, even in the cases when the University has given 

permission for outside paid work to be undertaken. It is important that staff 

undertaking private consultancy or similar work are aware of this fact to enable them 

to take appropriate professional advice to protect themselves, either by clauses in 

private consultancy contracts or by professional liability insurance. The University will 

not offer any advice to individuals about the terms of private consultancy contracts and 

the possible need for personal insurance cover related to such contracts. Staff of the 

various Professional services will not therefore be available for consultation and 

therefore staff undertaking private consultancy work should take professional advice on 

how far to seek to protect themselves. 

Use of University Resources and facilities etc 

The University Policy on “conflict of interest” shall provide the primary source of 

guidance on this matter. In tune with that policy it is intended that common sense 

should prevail under the overall guidance of the HoS/DoPS. The policy clause 

“University facilities and resources may not be used” is included to ensure that the 

university is not placed in a position of risk and liability. Nor that University resources 

or facilities are used to the detriment of the university. The HoS/DoPS are offered the 

following guidance on what should not be permitted under this clause: 

• Consuming material, resources, services or facilities which incur costs which 

are other than very minor or incidental 

• Using equipment or devices belonging to the client on university equipment 

• Using any university facilities, resources or equipment in a way which conflicts 

or impinges upon their use for core/bona fide university business, or in any 

other manner which might give rise to a conflict of interest 

• Using university owned computer equipment to connect directly with client 

equipment or systems other than in accordance with ordinary/normal usage of 

the web 

• Other usage that the Head of School may decide is inappropriate 

Thus, in consideration of the above, the Head of School (or Director of Professional 

Services) may decide to allow minor and incidental use of university computer or other 

office facilities. However, if any doubts or concerns in this matter arise the default 

position must be applied, i.e. the use of any university resources or facilities is not 

permitted. 

“Sub-contracting” 

Members of staff, who, under this policy may consult privately, may decide to consult 

directly for a client or work via a main contractor/consultant as a sub contractor. In 

the latter case, and where the main contractor is entirely independent of the University 

it remains a matter entirely for the consultant (subject to the normal policy and 

consents). 

Text for a standard letter and 

feedback slip is provided in 

Appendix II. 

Here demonstrable means that 

evidence showing that clients 

have been suitably advised must 

be made available to the 

HoS/DoPS who has consent 

ed to 

the consulting activity. 

(to do so in event o f damage 

might leave the university 

liability exposed) 

(else the risk of damage or 

outage to clients systems might 

be seen as caused by university 

equipment) 


Where the main contractor is an individual, school or unit operating via a school or 

unit-based consulting channels ... 

• The contractual arrangement between the end-client and the main contractor 

(The University) will be deemed to be University-based consulting, and 

• The arrangement between the main contractor (The University) and the subcontractor 

(academic consultant) will be deemed to be Private consulting. 

This form of sub contracting is not permitted where the main contract is operated via 

the Service Company-based channel. 


4.0 SCHOOL-BASED CONSULTING POLICY 


School-based consulting is well established in some parts of the university and it is 

intended these arrangements will continue. The existing body of School-based 

consulting provides an important financial and non-financial benefit to the University. 

Successful and beneficial consulting will be recognised as an important contributor to 

the University’s standing. 


The following categories of staff are eligible to consult via the School-based channel: 

• Academic staff in the Education, Research and Enterprise (ERE) job family under 

30-day rule. 

• Research and teaching staff in the Education, Research and Enterprise (ERE) job 

family under 30-day rule. 

• Staff at level 4 or above outside the ERE family up to 15 days using annual 

leave under the 15-day rule 

Staff at level 3 or below outside the ERE family may not consult directly with clients but 

may assist on consulting activity. 

Prior consent from Head of School is required to proposed consulting activities 


The contract is between the client and the University (School) and contractual 

arrangements (e.g. design, specification, etc) would normally be managed by the 

School. Other commercial rules which apply are: 

• University facilities and resources may be used, and must be charged 

in line with FEC 

• Business may be conducted from University premises and use the 

University postal and email address 

In Schools where the consulting 

activity forms an essential and 

integral part of 

the financial 

model, i t is likely that Heads of 

Schools may not consent to 

consulting through other 

channels in order to safeguard 

School finances. 

For information and policy detail 

on FEC C you are referred to 

your appropriate Finance 

department representative. 

• The university logo may be used (e.g. on letterheads, presentations, 

reports etc) 

• Consulting activity is covered by university insurance 

• Taxation/national insurance matters are catered for by the University 


Income from School-based consultancy activity is normally channelled to the “services 

rendered account” from which the head of school may disburse money to the benefit of 

the school (e.g. funding post graduate work, conferences, etc). 

Financial practice is governed under FEC. 

Income may also be disbursed to those who have contributed to the consultancy 

activity in line with the rules governing reward and remuneration (see summary the 

table in section 2.8). 

The decision to make a reward over and above normal salary lies with the Head of 

School. He/she can consent to a portion of the consultancy revenue being used to 

remunerate individuals in recognition of the work’s value to the school. 

The Head of School may also consent to other staff who have assisted in the work 

receiving remuneration or an award in line with University policy. 

Only University staff may be eligible for consultancy reward and remuneration and such 

rewards or remuneration must therefore remain within University staff employment 

policy. The options available within University policy depend on job category and are 

set out in the table in section 2.8 

Where assistance from staff has 

been provided as part of normal 


working hours then reward or 







or time. 


5.0 UNIT-BASED CONSULTING POLICY 


Unit-based consulting is well established in some parts of the university and it is 

intended these arrangements will continue. The existing body of Unit based consulting 

is significant and provides an important financial and non-financial benefit to the 

university Successful and beneficial unit-based consulting will continue to be 

recognised as an important contributor to the standing of the University. 


The range and quantity of work undertaken by the Unit will be decided upon by the 

Unit and School Head. For full time consulting staff, the consent to consult is implicit 

within their job role. Decisions concerning who consults on what assignments forms 

part of the normal operational management of the Unit. 

However, where the Unit seeks to call upon help or resources from elsewhere in the 

University, HoS/ 

DoPS consent is required. Subject to this consent, eligible staff may be 

hired from outside the unit at an agreed hourly rate. 

In Units, consulting activities are an essential and integral part of the financial model, 

the University does not permit unit consulting staff to consult (or to assist on 

consulting) through other channels in order to safeguard unit finances. 

Full time Unit staff are thus not eligible to engage in consulting activities outside their 

own unit unless asked or permitted to do so by the Head of Unit for Unit-supported 

collaborations with other Schools or Units. 


The contract is between the client and the University (Unit) and contractual 

arrangements (e.g. design, specification, etc) would normally be managed by Unit. 

Other commercial rules which apply are: 

• University facilities and resources may be used, and must be charged 

in line with FEC. 




reports etc) 

• Consulting activity is covered by university insurance 

• Taxation/national insurance matters are catered for by University 


The income generated from Unit-based Consulting activities normally flows to the 

operating balance of the unit. 

Consultants in Advisory Units may get ex-gratia bonuses on top of their normal salary 

through the staff achievement scheme. These bonuses are dependent on the trading 

surpluses of the Unit at the end of each financial year and normally may be up to 15% 

of trading surplus. 

Where non-Unit academic staff have been involved in the consulting activity, they may 

receive reward or remuneration in the same manner as prescribed for School-based 

consulting. The decision to make a reward over and above normal salary lies with the 

Head of Unit and appropriate Head of School. He/she can consent to a portion of the 

consultancy revenue being used to remunerate the staff member in recognition of the 

work’s value to the Unit. 

The Head of School/Unit may also consent to other staff who have assisted in the work 

receiving remuneration or an award in line with University policy. 

Only University staff may be eligible for consultancy reward and remuneration and such 

rewards or remuneration must therefore remain within University staff employment 

policy. See section 2.8 for reward option (which are dependent on staff category). 

Under previous policy the 

specified amount that could be 

divided up and used for these 

bonuses was up to 15% of the 

trading surplus (subject to the 

particular scheme). In this new 

policy this is changed to 

“normally 15%” and thus the 

previous cap is removed. 

Where assistance has been 

provided as part o f normal 


working hours, then reward or 







or time. 


6.0 SERVICE COMPANY-BASED CONSULTING POLICY 


The University wishes to encourage growth in consulting as part of its enterprise 

agenda. Following review and consultation it has been agreed to introduce an 

alternative to the existing Private, School and Unit-based consulting channels to help 

promote new prospects in un-tapped areas. The new channel will exist alongside 

existing/established channels and will provide a flexible alternative for those wishing 

to operate under the University umbrella. A new company will be created and known 

as the University of Southampton Consulting Ltd (UoSC). It will be a wholly owned 

subsidiary of University Holdings Ltd. 

Benefits of choosing to work via UoSC Ltd will include the provision of standard 

contracts, ease of working on multi-disciplinary/cross-school projects and visibility of 

consulting successes contributing to the enterprise agenda. It will also cater for 

routine invoicing, revenue collection and disbursement of revenue to costs and 

beneficiaries. 

A detailed operating guide will be available for those who wish to understand its 

mode of operation in greater detail. 

6.2 Eligibility and consent 

Prior consent from the HoS/DoPS is required for the proposed consulting activities 

and the proposed disbursement of the proceeds (which is flexible). 

The following categories of staff are eligible to consult via the Unit-based channel: 

Initially and through early life 

the company will focus on 

providing basic commercial 

support to early adopters. 

Broader-based support on 

aspects such as general 

marketing will follow on. A 

charge will be made for this 

service to cover obligatory 

employers National Insurance, 

insurance requirements and 

basic UoSC administrative costs. 

• Academic staff in the Education, Research and Enterprise (ERE) job family 

under the 30-day rule. 

• Research and teaching staff in the Education, Research and Enterprise (ERE) 

job family under the 30-day rule. 

• Staff at level 4 or above outside the ERE family up to 15 days using annual 

leave under the 15-day rule 

Staff at level 3 or below outside the ERE family may not consult directly with clients 

but may assist on consulting activity. 

To participate in this channel prospective consultants must contact UoSC manager 

for guidance. 

Rigorous control will be placed to ensure HoS/DoPS consent is obtained and to 

safeguard existing School/Units consulting activities. 


The contract will be between the client and UoSC Ltd (on behalf of the consultant or 

division). Support on contractual arrangements (specification, compliance, etc) will 

be provided by UoSC Ltd, typically via standard templates. In addition: 

• University facilities and resources may be used, and must be 

charged in line with FEC 




reports etc) 

• Taxation/national insurance matters are catered for by University 

• Consulting activity will normally be covered by appropriate insurance 

subject to any limitations/constraints the provider may advise. 


6.4 

Financial and remuneration 

Proceeds may be disbursed to beneficiaries subject to prior agreement with 

HoS/DoPS. Beneficiaries can include, the academic consultants, other staff involved 

in the consulting activity, or the money can flow to the School’s services rendered 

account. Payment to individuals must comply with University employment policy (as 

described in the general section). 

Details on how FEC is to be applied will be set out as part of the UoSC operating 

practice and in line with guidance from the Head of Finance. 

Schools will be required to underwrite consulting assignments by their own 

academics against loss. This is to provide a “firewall” against any losses in one 

school impacting on another. 

As UoSC is wholly owned by the university, staff who consult through it, or who are 

employed by it, will be paid by the university and those payments will be treated as 

remuneration and will be subject to tax and national insurance at source. This work 

is not self-employment and so simplifies the matter of dealing with inland revenue. 

UoSC will provide guidance to 

users and a price/cost modeller 

(spreadsheet) to help determine 

correct costs and deal with 

choice s and permitted flexibility. 

Contact UoSC for guidance. 

In practice, where assignments 

are mainly consultant timebased, 

and without 3rd party or 

capital costs, the risk of loss is 

likely to be very low. This will 

be dealt wit h in more deta ils in 

the UoSC Ltd operating guide. 

To obtain more information on UoSC 

Ltd please contact Robin Axford, Consultancy Manager, CEI; 

robin.axford@cei.soton.ac.uk 


APPENDIX I – HEAD OF SCHOOL OR DIRECTOR OF PROFESSIONAL SERVICE CONSENT (HoS/DoPS) 

A prospective Consultant must seek prior approval before proceeding with a consultancy assignment and prior to any 

contractual agreement being made. The purpose of this appendix is to provide a brief guide to assist the HoS/DoPS and 

the prospective Consultant conduct this review in a well structure and time-efficient manner. (It is provided as an optional 

guide but the text here does not form part of the Consultancy Policy.) 

Step 1 – An overview 

In the first instance the prospective Consultant should provide 

and discuss with the HoS/DoPS: 

• A brief overview of the proposed assignment to 

reveal the nature of the work and any possible risks 

• A description of any other staff or University 

resources or facilities intended to be used 

• Confirmation (for University-based assignments) that 

the assignment is not likely to incur a loss to the 

University. 

√ 

This may take the form a written proposal for complex 

or substantial assignments, or simply be a verbal 

description for small or simple assignments – it is a 

matter for the Consultant and the HoS/DoPS to agree 

what is appropriate. 

Step 2 – Define and agreed which consulting channel 

The consulting channel through which it is proposed to 

conduct the assignment 

√ 

i.e. Private , School-based, Unit-based or via UoSC Ltd 

Step 3a – If Private Consulting 

Eligibility – is the consultant eligible to work via the Private 

channel? 

Risk – does the nature of the work (with or of the proposed 

client) represent a risk or field of work which is unacceptable 

to the HoS/DoPS or the University? 

Policy compliance – will the Consultant confirm he/she will 

comply with policy regarding the issue of the disclaimer letter 

to their private client and report this activity in line with the 

policy on Conflict of Interest? 

Disclaimer – Will the Consultant confirm that he/she will 

comply with policy regarding the clear separation of Private 

and University-based consulting as set out in section 3 of this 

policy. 

√ 

i.e. is the Consultant in staff category ERE 

Family/academic @ level 4 or above? 

Certain business sectors or types of clien t may be 

deemed to be worthy of special consideration and 

consent to consult denied if potential 

ly damaging or 

risky to the School or University. 

Annually and retrospectively academics are required to 

register their private external interests as part of the 

policy governing conflict of interest. 

This provides the opportunity to ensure clarity and 

obtain assurance on policy compliance with particular 

attention to risk or the non-use of facilities or 

resources for Private consulting. Any dispensation or 

variation must be agreed at this point (see sect 

ions 3.3 

and 3.4 for full guidance). 


Step 3b – If School-based consulting 

Eligibility – is the consultant eligible to work via the Schoolbased? 

Are additional requirements for any Research and teaching 

staff in the Education, Research and Enterprise (ERE) 

satisfied? 

Risk – does the nature of the work (with the proposed client) 

represent a risk or a field of work which is unacceptable to the 

HoS/DoPS or the University? 

If risk is possible, has appropriate advice been sought? 

Costs & FEC – have costs (or will costs) be determined in line 

with FEC including those for both staff related and non-staff 

related expenditures. 

Net proceeds – will all net proceeds after costs be paid into 

the School services rendered account? 

If some of the proceeds are to flow to staff have 

proportions/rates been identified and agreed? 

√ 

All categories of staff at level 4 and above may consult 

(subject to the condition laid out in this policy). Staff 

at level 3 and below may assist (only). 






Some types of business present high risks – consult 

University insurance representative if in doubt. 

The determination of cos t should be in line with FEC. 

There may however be some variations depending on 

aspects such as location of work (on/off-site) or 

r ecommendations from the EIPC . Please consult with 

your appropriate Finance representative. 

Disbursement falls within School finance policy and 

practice – check with local Finance representative. 

NB – existing practice is not intended to be changed by 

the implementation of this Consultancy policy. 

Step 3c – If Unit-based consulting 

This is assumed to be covered with normal operating practice 

within the Unit. 

√ 

Step 3d – If UoSC Ltd based 

Eligibility – is the consultant eligible to work via the UoSC Ltd 

channel? 

Are additional requirements for any Research and teaching 

staff in the Education, Research and Enterprise (ERE) 

satisfied? 

Risk – does the nature of the work (with the proposed client) 

represent a risk or a field of work which is unacceptable to the 

HoS/DoPS or the University? 

If risk is possible, has appropriate advice been sought? 

Costs & FEC – have costs (or will costs) be determined in line 

with FEC C including those for both staff related and non-staff 

related expenditures. 

Net proceeds – all net proceeds after costs be paid defined 

beneficiaries – have they been defined (and 

amounts/proportions) and agreed? 

√ 

All categories of staff at level 4 and above may consult 

(subject to the condition laid out in this policy). Staff 

at level 3 and below may assist (only). 






Some types of business present high risks – consult 

University insurance representative if in doubt. 

The determination of cos t should be in line with FEC C . 

There may however be some variations depending on 

aspects such as on/off-site or recommendations from 

the EIPC. Please consult with your appropriate Finance 

representative. 

The consultant can be assisted by UoSC Ltd to produce 

the cos t model for the assignmen t. This will enable 

net proceeds to be estimated. 

Step 4 – follow up 

If it is decided to proceed with the proposed 

consultancy, Consultants and the HoS/DoPS’s must ensure 

any follow up actions or commitments from the review are 

completed. 

√ 

If Private consulting, a check should be made to 

ensure the Private consulting disclaimer form has been 

received. 


Delegated authority 

How the HoS/DoPS’s conduct the review to deal with consent is a matter for them. It is recognised that a more complex 

policy and higher levels of compliance are likely to call upon more and more of their time. However they must exercise 

diligence in this responsibility and the following notes are provided as a suggestion on how this might be achieved. 

Good management 

In all large organisations there is pressure upon managers to take responsibility. Yet were they to make or supervise every 

single decision they would become hopelessly overloaded. The ability to delegate without loss of control or responsibility is 

therefore an important attribute. In the context of the deployment of this Consultancy Policy the following is offered as a 

pragmatic suggestion on how the new policy may be implemented. 

Proposal: 

Each head of School (possibly working in conjunction with the school Enterprise Officer) devise a local and short/succinct 

Consultancy guide whereby the likely occurrences of consulting can be viewed under three headings: 

1. Consultancy which is unlikely to be supported or approved by the head of school. This is likely to cover areas of 

known risk or areas of activity which might be deemed to be unsuitable. This would represent a “NO GO” area 

2. Consultancy which is likely to be acceptable but due to conditions or parameters (e.g. scope, scale, value, 

complexity) require the personal review and consent of the Head of School (e.g. any prospective assignment with 

fee value >£5000. 

3. Consultancy which is considered to be of a lower risk, scope and scale, and perhaps routine for the school, and 

where the consent can be delegated to someone to act on behalf of the Head of School, (e.g. head of department, 

school manager). This might cover 1 to 3 day short assignments or expert witness types of activity 

In addition, it may be useful to set out a view on the parameters or conditions which might influence which consulting 

channel might be appropriate (Private, School-based, Unit-based or via UoSC Ltd). 

Communication and implementation 

Once this is completed the guide could be communicated and shared within the school. Routine management meetings 

held within the school could then provide an opportunity to observe the throughput of consulting proposals and monitor 

compliance to policy in a time-efficient manner. 

The Consultancy manger will be pleased to assist in the production of such guidelines. Contact 

robin.axford@cei.soton.ac.uk. 


APPENDIX II – DISCLAIMER FOR PRIVATE CONSULTING 

Background: 

The University of Southampton is a leading UK teaching and research institution with a global reputation for 

leading-edge research and scholarship. The University has around 20,000 students and nearly 5,000 staff. Its 

annual turnover is in the region of £270 million. Staff at the University consult to a wide range of clients in 

both private and public sectors on behalf of the University. 

In addition, and subject to the current consultancy policy, some members of staff are permitted to consult 

privately. In this case, those eligible staff engaged in private consulting are required to confirm that they make 

it clear to their clients that any arrangements entered into are between them and their client are private and 

no responsibility or liability shall rest with the University of Southampton. 

Academic consultant s may find the above text useful when explaining to their clients the need for the Disclaimer form. 

The Requirement 

Academic staff are required to comply with the above condition. The disclaimer form below may be used by 

those academics involved in private consulting in order to comply with university policy. 

The use o f this form can usefully be discussed at/when the academic is seeking Head of School consent. 

Disclaimer 

Name of academic consultant: 

Title/position 

Project/assignment title: 

Client confirmation and details: 

I [ client name ______________________] of [ company if applicable ______________________________________] confirm 

that I/we understand that the arrangement entered into between [ name of academic ___________________________] 

and myself/ourselves on this project/assignment are solely between me/us and that the University of 

Southampton is not a party to the arrangement. Therefore I/we agree that no responsibility or liability shall 

rest with the University of Southampton in respect of this project/assignment. 

Signature 

Date 

Name 

Position/title 

Company Name 

Contact address 

Once complete, the academic consultan t must send the original completed disclaimer slip to the appropriate Head of School. 


APPENDIX III – CONSULTING CHANNEL OPTION (SCHEMATIC) 

1) Academic staff in the Education, Research and Enterprise (ERE) job family 

Private consulting 

Private Client 

4) Staff at level 4 or above outside the ERE family 



“Sub-contract” 

1 



1 


3 3 

School’s 

Consulting 

Unit’s 

Client 

School 

Unit 

Options 

Client 

2 2 

School-based 

Unit-based 

consulting 

2 

consulting 

Service-Co 

(UoSC Ltd) 

4 

Service- 

Company’s 

Client 

Service-Co 

consulting 

3 3 

School’s 

Consulting 

Unit’s 

Client 

School 

Unit 

Options 

Client 

2 2 

Service- 

Company’s 

Client 

School-based 

2 

consulting 

Service-Co 

(UoSC Ltd) 

4 

Service- 

Company’s 

Client 

Unit-based 

consulting 

Service-Co 

consulting 

1 

Staff member consults “privately” and make own commercial arrangements 

2 

Staff member consults as an employee and reward and remuneration is via UoS payroll 

2 


3 

The contract of work is between the University and the external client 

3 


4 

The contract is between the service company (UoSC Ltd) and the external client 

4 


NB – approval required from Director of Professional Services 

2) Research and teaching staff in the Education, Research and Enterprise (ERE) job family 



5) Staff at level 3 or below outside the ERE family 




1 



1 


3 3 

School’s 

Consulting 

Unit’s 

Client 

School 

Unit 

Options 

Client 

2 2 

School-based 

Unit-based 

consulting 

2 

consulting 

3 3 

School’s 

Consulting 

Unit’s 

Client 

School 

Unit 

Options 

Client 

2 2 

School-based 

Unit-based 

consulting 

2 

consulting 

Service-Co 

(UoSC Ltd) 

4 

Service- 

Company’s 

Client 

Service-Co 

consulting 

5 

For staff at level 3 or 

below outside the ERE 

family, reward and 

remuneration may be 

given if the work is 

outside normal duties 

and/or hours of work. 

Service-Co 

(UoSC Ltd) 

4 

Service- 

Company’s 

Client 

Service-Co 

consulting 

2 

3 

4 




3 


4 


5 Staff member assist consulting activity as an employee – any reward and remuneration 

is via UoS payroll either as O/T or via staff achievement scheme. 

3) Enterprise staff in the ERE job family (including those employed in industrial or advisory units.) 




1 


3 3 

School’s 

Consulting 

Unit’s 

Client 

School 

Unit 

Options 

Client 

2 2 

School-based 

Unit-based 

consulting 

2 

consulting 

Service-Co 

(UoSC Ltd) 

4 

Service-Co 

consulting 

2 

3 




APPENDIX IV – INTERIM DEVELOPMENT NOTES 

Background: 

The publication of this policy represents a forward step in consultancy and seeks to clarify much of what is already common 

practice and introduce a new channel aimed at new consulting activities. 

The longer-term plan is not yet fully developed. Until this becomes clearer it may be difficult (or even frustrating) for 

members of staff to see how they might engage in the consulting activity. The purpose of this appendix is to provide some 

interim guidance to both experienced and prospective consultant pending the development of a longer term plan. 

Experienced consultants: 

Those already established and involved in consulting, whether privately or through one of the university-based channels 

can broadly continue as before. With exception to changes affecting eligibility and some tightening of the rules governing 

Private consulting, there are no significant changes introduced by this consolidated policy. They may also consider 

exploring the use of the UoSC Ltd channel is they wish. 

New Prospective Consultant: 

For those with little or no consulting experience, or perhaps those with enterprise responsibilities seeking to encourage 

consulting within their school, help can be provided by the Consultancy Manager within CEI (see contact details below). 

Depending on what questions arise, help could be given to provide a deeper understand of the operation and potential 

benefits of UoSC Ltd. It might also be worth exploring some basic consulting models (e.g. skills, marketing, process) to see 

what might usefully inform next steps. 

Longer term plan – consultation 

In order to formulate a longer term plan to facilitate beneficial growth in consulting at UoS, consultation will need to take 

place to better understand the issues and opportunities. At this stage a number of questions arise (there will probably be 

more), and the reader is invited to consider these and provide comment. 

Here are some of the questions which need to be considered in the development of the longer term plan: 

• Clarity of mission – how should consultancy be pursued? The styles of consulting may vary from small 

opportunistic assignments through to the development of heavyweight consultancy units, some of which already 

exist (e.g. ISVR Consulting). The motive may also range from commercial consulting mainly for financial gain, or 

perhaps be pursued under the banner of “social enterprise”, where enterprise practices can explore ways to 

create self-funding opportunities which are of social or environmental benefit. 

• Diversity of expertise – how to deal with this breath and complexity? Compared to a commercial consulting 

business, the range of expertise which might be available to potential clients by UoS is massive. In the context of 

marketing and selling, how can this diversity be described in a way which enables UoS capabilities to reach and 

match clients’ needs? The go-to-market strategy will need consider and promote client engagement from the 

clients’ viewpoint (how can they find out what we do? ... and how can they find the right person to connect 

with?) 

• Longer term governance – how should this evolve? This policy document is mainly a consolidation of existing 

policy. If consultancy activities increase the potential to conflict with other University priorities will increase. 

Changes in management practice and clearer priority setting may be needed to strike the right balance on the 

allocation of resources, costs and investment decisions. 

If you wish to convey some thoughts on this matter please email the UoS Consultancy Manager – 

robin.axford@cei.soton.ac.uk

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